Complying with the NIH Public Access Policy: Depositing manuscripts in PubMed Central Julie Speer, Lori Critz, Michelle Powell Office of Organizational Development Brown Bag 7/11/2008

NIH Total Award Amount by Department

NIH Policy History History –July 14, 2004 Congress instructed NIH to develop a policy requiring free online access to articles arising from NIH sponsored research. –May 2, 2005 NIH funded researchers are requested to submit an electronic version of the author’s final manuscript upon acceptance for publication –February 2006, Progress report sent to Congress. Reporting compliance with the Public Access Policy was below 4% –April 7, 2008, the effective date NIH makes its voluntary policy mandatory. URL:

NIH Public Access Policy “The Director of the National Institutes of Health shall require that all investigators funded by the NIH submit or have submitted for them to the National Library of Medicine’s PubMed Central an electronic version of their final peer-reviewed manuscripts upon acceptance for publication, to be made publicly available no later than 12 months after the official date of publication: Provided, That the NIH shall implement the public access policy in a manner consistent with copyright law.”

What does it apply to? The Policy applies to any manuscript that: Is peer-reviewed; And, is accepted for publication in a journal on or after April 7, 2008; And, arises from: –Any direct funding from an NIH grant or cooperative agreement active in Fiscal Year 2008, or; –Any direct funding from an NIH contract signed on or after April 7, 2008, or; –Any direct funding from the NIH Intramural Program, or; –An NIH employee.

Overview - How to Comply Retain rights –Know your publisher, notify your publisher, amend your copyright agreement Deposit –Publisher, Principal Investigator (PI), Non-PI Include PMCID in citations –Locate PMCIDs, create compliant citations

Retaining Rights Check your publisher’s copyright policies on self-archiving Read through your copyright transfer agreement carefully Notify your publisher you must comply with the policy in a cover letter submitted with your manuscript Amend your copyright transfer agreement, if necessary

Retaining Rights Some publishers require full transfer of copyright during the manuscript submission process. Some require full transfer of copyright after acceptance. Some have copyright agreements that support self-archiving, but with conditions or restrictions.

Publisher Copyright Policies SHERPA/RoMEO database of publisher copyright policies on self-archiving – List of publisher policies on NIH compliance – olicies_on_NIH-funded_authorshttp://oad.simmons.edu/oadwiki/Publisher_p olicies_on_NIH-funded_authors

Suggested Cover Letter Georgia Tech Library suggests sending the following cover letter to publishers with your manuscript submissioncover letter (from the Joint SPARC, SCIENCE COMMONS, ARL White Paper, “Complying with the National Institutes of Health Public Access Policy” by Michael W. Carroll, February 2008.)

Amending Copyright Agreements NIH suggested language – “Journal acknowledges that Author retains the right to provide a copy of the final peer- reviewed manuscript to the NIH upon acceptance for Journal publication, for public archiving in PubMed Central as soon as possible but no later than 12 months after publication by Journal.”

Amending Copyright Agreements Science Commons / SPARC Author Addendum - Access-ReuseScience Commons / SPARC Author Addendum

Deposit PubMed Central

Publisher Deposit Some publishers automatically deposit the published article in PMC Some publishers deposit the final peer- reviewed manuscript in PMC –PIs must approve the submission in the NIH Manuscript Submission System [NIHMS]).

Other Deposit Options Authors submit manuscripts to PMC Library staff deposit final manuscripts in PMC on behalf of authors (and deposit in SMARTech, depending on the rights reserved)

Know Your Publishers PUBLISHERDEPOSIT?PI INVOLVEMENT? John Wiley & Sons Oxford University Press Elsevier American Society of Microbiology  The American Society for Biochemistry and Molecular Biology  Institute of Physics Publishing  + Nature Publishing Group  + Springer  +

Deposit Instructions Tutorial for submission by a PI: – NPMC/PI-NPMC-1.htmlhttp:// NPMC/PI-NPMC-1.html Tutorial for submission on behalf of PI: – NPMC/NPI-NPMC-1.htmlhttp:// NPMC/NPI-NPMC-1.html

Including PMCIDs in Citations After May 25, 2008, “NIH applications, proposals, and progress reports must include the PubMed Central reference number when citing a paper that falls under the policy and is authored or co- authored by the investigator, or arose from the investigator’s NIH award. This policy includes applications submitted to the NIH for the May 25, 2008 due date and subsequent due dates.”

Locating PMCIDs Search by author name or title in PubMed Central

Creating Compliant Citations Chung, I., et al., Bioadhesive Hydrogel Microenvironments to Modulate Epithelial Morphogenesis. Biomaterials June; 29(17): PMCID: PMC Chung, I., et al., Bioadhesive Hydrogel Microenvironments to Modulate Epithelial Morphogenesis. Biomaterials June; 29(17): NIHMSID: NIHMS49457 Chung, I., et al., Bioadhesive Hydrogel Microenvironments to Modulate Epithelial Morphogenesis. Biomaterials June; 29(17): PMCID: PMC Journal - In Process

Liability “A grantee’s failure to comply with the terms and conditions of award may cause NIH to take one or more enforcement actions, depending on the severity and duration of the non-compliance. NIH will undertake any such action in accordance with applicable statutes, regulations, and policies. NIH generally will afford the grantee an opportunity to correct the deficiencies before taking enforcement action unless public health or welfare concerns require immediate action. However, even if a grantee is taking corrective action, NIH may take proactive action to protect the Federal government’s interests, including placing special conditions on awards or precluding the grantee from obtaining future awards for a specified period, or may take action designed to prevent future non-compliance, such as closer monitoring. See Enforcement Actions in the NIH Grants Policy Statement (11/03): “

Library Services Offered Answer questions related to the NIH Public Access Policy and how to comply. Offer NIH Public Acccess Policy informational sessions to departments, research groups, and individual faculty. Deposit manuscripts in PubMed Central and SMARTech on behalf of authors. Provide hands-on PubMed Central submission training. Suggest tools that help researchers retain rights to deposit in repositories like PubMed Central. Contact us at:

Benefits Barrier free access to NIH funded research Increased use, dissemination, and impact of research available through PMC and SMARTech Digital preservation Integration with other NCBI databases

Resources NIH Public Access Policy website GT Library NIH Policy website ARL NIH Policy website NIHMS NIHMS Submission Help for PIs and non-PIs Science Commons/SPARC Access-Reuse Author Addendum

Questions? Julie Speer: Lori Critz: Michelle Powell: